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Mitt Romney 2012

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Mitt Romney's 2012 personal financial disclosure
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OGE Form 278 (Rev. 12/2011) Executive Branch Personnel PUBLIC FINANCIAL DISCLOSURE REPORT Form Approved: 5 C.F.R Part 2634 OMBNo. 3209·0001 U.S. Office of Government Ethics Date of Appointment, Candidacy, Election, Calendar Year Termination TerminationDate(IfAppli­ Incumbent New Entrant, 'Month. Dav.Year) Covered by Report Nominee, or '5(l Filer rble) (Month,Day, Year, D n Candidate II Last Name , First Name and Middle Initial Reporting Individual' s Narne Romney' ;iIW;Mitt '. I . Title of Position i Department or Agency (If Applicable) Position for Which Filing President klN/A Auuress (Number. Street. City, State, and ZIP Code) -..,.-..,....,..,....,..,....,..,....,..,....,..,....,..,....,..,. Telephone No. (Include Area Code) Present Office Location of 585 C:OmlTlercial. Street; Eloston,MA02109 (or forwarding address) . Title of Position(s) and Date(s)Held Posltlon(s) Held with the Federal Government During the Preceding N/A 12 Months (If Not Same as Above) , Name at congressional committee Considering Nomination In" Vn11 Tntpnn tn rrp-':Itp ':l f'l1l':lHf;,on ni"":>reifi",,ri Tr11c"? Presidential Nominees Subject! ..... , .. " ., ... ,. to Senate Confirmation INofAPplicable· ••......,.,.. .: ': LJYes UNo Certification [CERTIFY that the statements I have made on this form and all attached schedules are true, completeand correct •••C •••••• , myknowledge. Other Review (If desired by agency) Signature of Reporting Date (Month, Day, Year) A-/7/L June 1, 2012 Signature of Other Reviewer / Date (Month, Day, Year) / AgencyEthics Official's Opinion I Signature of Designated Agency Ethics Official/Reviewing Official Date (Month Day, Year) Signature Offlce of Government EthiCSI I Date (Month, Day, Year) I , • ­ - • .,,_... ----_._" IArrangernentsj-onow any agreements or Use Only arrangements as of the date of filing. SCh e d u 1e D -The reporting period is Comments of Reviewing Officials (ff additional space is required, use the reverse side of this sheet) I the preceding two calendar years and I the current calendar year up to the date -1 , .:il 0J (Check box If filing extension granted & Indicate number of days ---) D of filing. l\1HJH]D .:lO 3:11.::1.:10 Agency Use Only \-NnrZIOl (Check box If commenrs are continued on the reverse side) 0 OGE Use Only Supersedes Prior Editions. : t: ,.." .: tl);-' .J _ "-' ... J 'I. , -"'I' ,'''-1 I NU 11,).:J I :.; : IJ 'J...!' I .. , .... n :\.. Report ..... .,chidl8afsHm'le W. Mitt Romney [W.MIt& AnnRomney] SCHEDULE A Page Number 1 of 12 Assets and Inconli! valuationof Assets at dose ofreportins period IncomeTypeand AmoIRlt. If"None (or lessthan $201)"15checked, no other entry Isneeded Inbloclt Cfor that llem. BLOCK A BLOCK B BLOCKC Type Amount ;:;­ & ... c .. (:. 9­ .. s :z: § III' ... . 8 i ... § g . s ." 0 c § i g .t § J § I ! d g go iii. ri . , 8 , . 8 8 8 § 8 d I g g g a g d g ti '" .., c jii & :a Q '" oil 'e .. a: l!! 2 .5 '" .E .. t!> Q. Cl ;:;­ 0 iii. c .. F ::l d ";j' lS :z: ... N 8 In , ... 8 ,.; § "" , ... N § III' ... . ... s § :if .:. 8 III' ... § g ... 8 Sf § ,.; § 8" ... § ,.; 0 § Q In 8 ... 8 III' g ! Other Income (Specify Type& ActualAmount) Date (Mo., Day,Yr.) Onlyif Honoraria ABBOTT IABORATOtIlliS (SOIDI BANK OFAMERICACASHACCOUNTS x X X x x x x NOAPOLOG'l: FOR AIIIatlCANGR£ATNtSS,ST. MARTIN'S PRtSS, VAlUE NOTASC£RTAllWII.£ lI'ROffiSDONATto 10 CHAfl!1Y) WAN TOSTAMPS SECURED BYilEAl. PROPI'RTY INMISSOURI CITY, TfXAS MAIlRlOlT(DlSTRIBlII1ONOf 2009 AND2010 ANNUAl. S1l)CI § g­ ... ..". ..:. 8 0 .o Q 8 N ..". 8 0 0 ... 0 8 ..". 0 ... 8 e­ .o N § ,...j' ..". ..:. 8 go .o b 8 g- q § 8 g g Sf a ..". 0 , § s 0 g .o .o' N 8 0 g d .o ..". "0 c ::J u, ... c .. .. .5 11 'IS. '" u ill t: 11 'IS. .. .il t: "0 .. l!ii '" a .. '" c .. "0 Q VI .. i:­ 0 a: o!l 1:: .. 0:: ;::; Q N ..". c '" ¢: .5 '" c5 l,!;> "Q; 0.. C a 0 Z 0 8 ,...j' ..". ..:. 0 N 8 .o N ..". ..:. 8 ,...j' § II'i' ..". , ... N' ""'. § .o' ... ..". ..:. 8 .o' § 0 .o ..". ..:. 8 .o' ... § g ... ..". 0 .o § g ,...j' ..". § go ... 8 0 g ,...j' ..". 0 § g II'i' ..". , § g ..., § § 0 Other Income (Specify1'(pe & Actual Amount! Date (Mo., Day, Yr.) OnlyIf Honoraria NOV21. 2014ST1lucruREONOTE x x AUSTltAUANDENOMINt.TEDOOLIAllSHEU>ATGOLDMANSAQlS X X X CANt.Dlo'.N OENOM'NATEDDOLIARS HELDATGOLDMANSACHS X X GOtllMANSACHS8ANKDEPOsrr(1lDA) X II X UKDENOM'NATtOPOUNDST£llUNGHELOATGOLOMANSACHS X X CANA0A2S"06/01/201S CAOSR liEN IlOND X X X CANADA3.5"06/01/2013CAOSRUENllOND x X x COMMONWfALTHOF Al/STRAUA6.25" «>/lS/lG14 x x X COMMONWfAlTHOF AUSlTWIA CPN4.7500 1l/lSf2G12 X x II 12/I6/lGlSID X x X FHU L37S 115/2812014 II X FHLBOS7S"12/27/2013 ID rHL8 1.5" Ol/U/2013 II x x X x x fHL81.625"0lI/l6{20U MS x x X FHL8l.7S"08/2lIl0U fA x x x FH181S7S""""1I2013 10 x x x FHlB 3.6lS"05f2ll12013 MN x x x rHLB 4501XXl0l'09/16{2013 MS II II x rHLe 4.625" 10/1QI2OU NJ x x X M84.75" U/16f2016 10 x x x FHlB 4S7S" 05/17/2017 MN II x x fHL8 Shl' 12/2112015 JDS£RV8-lG1SSRUEN80ND x x X FHLB X X x FHL8S375"05/1II2016 MN x x X FHL8SS"0lI/13/2014 FA· X X x FHlBSER:3115.7S_05/1S!2011MN­ x x X II X X GILT4"OlI/07/20164,0'l' G!lI07/2016GR£AT BllI1l'lH POUNDSRUl:N BOND X x X GSINFlAnON!'ft01!CTED SECURfflBRiND x X X IONGDOMOf SWEDalINo.lG4l1 &75" 05/05/2014 SEK X X NORW£GlANGOVTllONDS"05i1S/lOlS x x NORWEGIANKRONE&5"05/15/2013 6.5" 05/15/2013 SRUENIlOND x X 1II*t1nC1ndMduI....Ntm. Page Number Iw. Mitt Romney SCHEDULE A 3 of 12 IW.Mfttftanney 81ndTMtI Valuatlanof Assets IncomeTypeand Amount. If "None(or lessthan$201)"Isd1ed Yr.) '" g § 0 § (; I: '" (; '" I: {Speclfyl\'pe § OJ g 8 0 § . § § 0 g 0 & Actual g § .n g , .... g § g § 0 s '" 0 Ontyl' § g 1;; $l. 8 .... § ... , g , Amount) on .n ... ..:. ... 8 § .n .5 '" ..... Honoraria , , ... !t .n ... g § 8 0 8 0 , ... ... § ..:. § d -e 'tl , 15 ..:. '" e'" ... al al ::. § g ..:. 0 OJ ... ... I: t;; 2­ ..:. , 8 8 8 "" ..:. ..:. ... $l. 8 all OJ 1>­ 1>­ 8 OJ g !5 7U 8 § d £l 'tl ... d g- g "­ & OJ 8 I: .n on 'C on a 0.. 0 d 0 ... on § ::.;: 5 a '" ... ... on" on ... 0 on ... .... .... OJ .... ... ... on ... Z 0 Z 0 "" "" "" '" SWEDEN (JQNGDOMOF)3.0%aT!U!2016SEI(SG8. 3". 07/12/16 x x TVA6.79l'os/nI2OU MN x X X BNPPAAlBAS IHllD1O£UftOSlOXX50DIVm Ol' DUE UI29I'2014STRUCTUREONOlE X x OOMPANYCMN X X X GS5MALLCAPVALUEFUND x x X lSHAlt£S $&P£UftOPE3501NDEXl'UND X X x ISHAMSS&l'LA11II FUND·m x x x s&PfMBIGlNG£UftOP£SPDRSCMNm x x x SPDR 5801'500 mTftUST x x x TilEGOl.DMANSACIlSGROUP. INC UNKED10 $&1'5000%COUPON DUE 10/l812013STRlJCTURroNOlE x X GSPftlVAlECLltNTl'ORTFOlIO (SOlD) (NOT£ 2AND AlTAOIM£NTA,l'AGt 21 x x x x THORNIltJftG INVESlMENTMANAGtMENT(SOlD) (NOTE LAND AlTACHIdENT A.PIG£ II x x x x AUSTAAUAN OENOMlNAlEDllOUARS IlElD ATGOLDMANSACIlS SOlDI x x x x BNPPAIlIBAS LlNXEDlOaJROSTOXX50DIVP'ISO%COUPON DUE 1U/31/2012STR1JC1'Ullll) NOlE lSOlD) x X filLS 1.0% 12l2aI201l ID IMATUftEDl X x x x FIlL83.62S"09!1£;'2lI11 MS (MATUftEO) x x x FIlLa4,62S000li02/1"2011 fA (MATURED) x x x x GSINVI51lllENTGftADE CREDITFUND(SOLD) X x x ISIIAlltSTR-lSHAMS MSOEm lNDEXFUNDm !SOlD) x x x SPDR$&P500mTRUST(SOLD) x x x GOI.llMANSACIlSEMEftGWGMAIl1CETSOl'PORTUNIll13 ASSET TRUST X X X SEUCTCOMMoomeSSTRAlEGIES, l.IC (NOTE31 x x SUNVENTUftECAPITAL PARTNERSI, LP. (N0lE 41 x x Pap Number ro-"''''''-''-' Iw. Mitt Romney SCHEDULE A 4 of J.2 Mn_.. valuation of AsselS IncomeType8ndAmount. If"None{orlessthan$201)"lsclleclced, no Assets ;IIld Income at dose oheportingperlod other entry Is needed In bIodeCfor that Item. BLOCK A BlOCKB BlOCKC 1\pe Amount § ..< c "' ,: Q. :!! 0 z § "" 8. , ... 8 a 0 In ." I "" § 8' oil' ..:. i a I lti' ..:. 0 8 ..:. In i 0 In "" "tI c 1: .., J!! .ll .., i .ll t;; .., '" OJ -e !E Iii "tl a :0 t 00: Cl!I C.!l E Q. a ::;­ 0 '" c B 0 :!! 0 Z "" ..:. 0 '" "" 8 a ..:. ... ." , ... :it '" "" § "" ..:. § § In' ... ." ... "" , ... 8 a § § .... "" ..:. ... "" . ... "" lD l3 8 § lfi' ..:. i 016 """,m!a1l2Ots GR£AT_ POUHDSllU9i8llND X X 11 GSIIIFIATlONPllOTIClEO SKURI'III5fUND x X X J-OfSWlDelIND.1lXll6.?S% 05lO5I2014 SEK 11 11 _HGOVTllOND5'lI 05/lSl>015 5.0l605/15/2015 X X _NKAllNES.5'lI05I1SI:!1lIJ 6.5'lI05/15/2OI3SRUEHIlOND SW£O£N(llINGIlOMOFl3.OlI07/12/2016SEl(SG8,i'" m/n)16 X x x x _'A!lI8ASlHICIIlO EIlROS1OXXSOOlVPTSOl6COU1'ONl>Ut: 'UJ29(2rn.4 STIIlCIUItEIl fIOTl; X X ISIfAltISSIl'IUlIOPE 3SOlHDEXfUND Jl X X tSlWtESsa'IAT1IIAMEllCA40lNDEXfUND· m x x X 1IAI08ANICIlEIlEIlLAND. U'I1l£CIlTLIN(£I>TOMSCl TMNANl'Ioxca DUE 07/"120135T1tUCT11l1£OHOT£ 11 x sa'--EUIlOP£_SCMN£Tf x H x _SIlPSOOmt1lllST x x x THE G01llIIWISACHS_.INC. \lfIKEIllOllI1AOl'COUflONDUE aTf7Sl2013 STIUCJIIItfONOTf X X THE GOIDMf,NSACHSGROUI\ INC.lHICIIlOTHEllUSSal2000IIIDlXca COUPONDU£071"12Ol!l S11WC'l'1MmNOTE X X __ Pal" Number fN. Mitt Romney SCHEDULE A 5 of 12 Ann--lI"dT_ Valuation of Assets Income Typeand Amount. If "Nonelor lessthan $201)"Iscllecked, no Assets aid Income at dose of reportlllgperiod otIlerentryls needed In bIodc Cfor thatltern. BlOCK 8 8lOCKA 8LOCKC 1I1le Amount 0 'tl ::;­ Date 8 0 0 § ,z " § ,..; 8 N (Mo. Day, . 0 8 § § Otherlneorne i §' § § " 51 §' .. " ISpecify Type Yr.) §' § § t f3. :Q" .n :0 J .n § § , ti ,..; & Actual ... , Onlylf I ... ... a i , B :!l' :!l' .:. .:. ... i Amount) Ii s 'n; 8 , , B § ,..; ai , Honoraria ... ... ... .:. 'tl "C "C '" c:: \!l a ... .:. .:. §. .-1 It> i "5l , .l!I .:. .:. ... 8 "iii Iii !e "; 8 8 & """ l!:! li; '" li; a Q. 0 .n r:S .n r:S fit s s & & It> I 0 ,..; IS ... ... It> ... N N N ... ..,. ..,. ..,. ..,. ..,. ..,. z .vi. ..,. .vi. '" 5 ..Il .Il a olI z , ... ... ..". 8 g l!i" ..". ..:. ! § i . ... 8 III .l)l. § 0 -g 51 'D t 'D i .'il s 'D l§ 8 VI 'D c .. 'D :0 t '" ell a ;;; :t= <>. a S .lit c f. B § 0 ..t ..". "'; S s .l)l. :l: , ... .l\l. ..:. N ..". § :!l" , ... 8 § ..:. ... ..". i ..". ..:. 8 d § g § s ... ..". . i ..t ..". 8 §" Irl ..". ..:. Irl ..". other Income (SpecifyType & Actual Amount) Date (Mo. Day, Yr.) Only if Honoraria MIH OU'fTAlP_11INnlEs10& 1" X x IlAlN OU'fTALI'AIt1'NER5 VINl>T1510 &11' Ie Ie IlAlN CAPITAl FUNOVI'HOm 10& 111 x X x X IlAIH 0\I'l1l\LFUNOVll-I0&11 Ie x Ie Ie IlAlN 0t.I'ImVllCOlMl!S1MENTfUNDlfOlB10& 11) x X x X tAlHO\PITAlFUNOVll£ .......SlO& 11) x Ie Ie X Ie IlAlNCAPlTAlfUNDWltNnlESlO&U x x x x x tAlHo\PlTAlFllllDVlllElHOlB 10& 11 Ie X X x IWNO\PITAlVlllCOllN£5lM£NTRlNDINnT«10&'" X x x x x IlAlNCAPlTAlFUNOIlItN f ,. None (Or less Than $1,001) $1,001 - $15,000 $15,001- $50,000 $50,001- $100,000 III .. Q, $100.001- $250,000 $250.001 - $500,000 $500,001 - $1,000,000 Over$1.000,000· .. II> o I' ::'i i; $1,000.001- $5,000,000 &. $5,000.001- $25,000,000 $25,000,001- $50,000,000 Over. $50.000.000 ExceptedInvestmentFund ExceptedTrust Qualified Trust Dividends Rent& Royalites Interest Capital Gains None ( Or LessThan $2011 i::l [I II Ii .. .. .. i If $201 - $1,000 n • $1,001 - $2,500 $2.so1- $5,000 $5,001- $15,000 $15.001 - $50,000 $50,001- $100,000 $100,001- $1,000,000 OYer$1,000,000· f­ ao .. Sl B f! n 'f .. N )10 C> I :r I $1,000,001- $5,000,000 5 OYer$5,000,000 ... iRoI! ilil :J: gE i'''' :f 1Si' ... , , '* J III ff ". ... i " ... f 1 . I" n ::t: a c: r- m > ';3 '= z -.J I 0 HI I-' t-J Iw. Mltt Romney SCHEDULE A PaseNumber of B 12 IW.Mlltftcmnoy1ftA) Assetsand Income Valuationof Assets at closeof reportingperiod IncomeTypeand Amount. If "None(or less than $201)".schecked. no olher entry Is needed In blockCfor that Item. BIDCKA BlOCK B BtOCKC Type Amount ;:;­ 0 0 ..... c '" 9­ OJ c 0 z § iii" .... , .... & ... .n­ § 0 In , .... 8 iii" ... § o' 0 .... , ... 8 cs § 0 In N .:. 8 g .n­ § g In , .... 8 0 In § § .... , .... § .n­ § g 0 , 8 ... .n­ § a , 8 .:ll. § a § , 8 § a " c " ... 1: 16J > .5 " ! OJ Jl t; s " ! OJ I­ "li 6 ;g c OJ "::! o a .i5! '" ell t: OJ OJ: .!l .5 '" .5 '" III i .. u ;:;­ c '" '" :§ 0 OJ" 6 Z 8 0 .n­ , 8 § N iii" .:. , ... 8. s '"' ... In .... .:. 8 § 0 In , .... 8 ",' , .... 8 cs .:ll. § ... .:. 8 g ... .n­ § § § g § 8 g Other tncome (Specify Type & Actual Amount) Date (MO., Day, Yr.) Only if Honoraria GOlllMAMS.ocH$lWlKOEfOSIT/BOAl II x x us DOUAJlS tIM ATGOlDMANSACHS x x x MARftDTTINfEllNATlONA.l" INC. a.lN ClASS A X X X MARftDTTVACAnoNS WORlOWlOE CORPORATION x x FH\.8 L37S 0SI>R/2014 x X x FHlll1.6:15"03/2Cl'2013 MS X x x FHl1l1.62SIH1/1l/2012 MN x X l< FHleUS"08/22/2012f" x x x FHleU:I5IHO/18/2013 AOSRUENBONO x x x FHlIl551108/13/2014 fA· X X l< GSINFl1>T1ONPftOTEC1iD SECIIItm£SfUND x x X FHLlI LII!I J2/2B/20U ro (MATURElll x x x FHlMC4.615" 10/25/2012 AD 60lDl x X X X O.f,/09/1013 ADISOlOI x x x x A8S0WTEllElUllNCAf'fTAl. PAtmIEllS INOTES 10& 111 x X X X X BROOKSIDE CAI'lTAl.I'ARl'NEftS fUNDINOTES 10 &111 l< x X x X PROSf>£CTl!ARBOR CRE01TPAJONEftS/NOTES 10 &11) x x x x X SAIlKATYHIGH YJa.I) ASSETGftAIIlOft TRUST(IIOTES 10& UI x x SAIlKATYIl1GH"/laOPARl'NEftSll tIC >C None (Or Less Than $1,(01) $1,001 - $15,000 >C $15,001- $50,000 $50,001- $100,000 $100,001 - $250,000 $250,001- $500,000 $500,001- $1,000,000 OVer$1,000,000· $1,000,001- $5,000,000 $5,000,001- $25,000,000 $25,000,001- $50,000,000 OVer$50,000,000 >C Excepted Investment Fund Excepted Trust Qualified Trust Dividends Rent & Royalites Interest i Capital Gains >C >C None ( Or Less Than $201) >C $201- $1,000 $1,001 - $2,500 $2,501 - $5,000 $5,001 - $15,000 $15,001- $50,000 $50,001- $100,000 > $100,001 - $1,000,000 OVer$1,000,000· $1,000,001 - $5,000,000 OVer$5,000,000 -0 g » 3. - lD :I: g 0 q " .. &-­ j • !Ii' !ii' ... -:c: lD E III I .. 8 .. &. )I if 0 .. .. ... III aa g jf :0< ;lll III if "2 lit :L 2­ !i -"2 ;:I ::J 2:rt a.::;; n;l 0'0 ., i .. 2''0' ., III g ;[ :0< 3 ... n . i :0 'la' 0 .!: • Ill" ... if !"­ 5 '"' " B' " in ;i ::1:'; got 3 l I :I: m 0 c: I"" m ):0 81 ." lD z l: 3 0 HI .... tv ---------------------------------- --- OOEForm278(Rev. 1212011) 5 CF.R. Part2634 Do not complete Schedule B if you are a new entrant, nominee, or Vice Presidential or Presidential Candidate U.S. OfficeofGovernment Ethics Reporting IndlVldual'S Name Romney, W. Mitt Part I: Transactions Report any purchase, sale, or exchange Donot report a transaction involving None 01 by you, your spouse, or dependent property used solely as your personal children during the reporting period of any residence, or a transaction solely between real property, stocks, bonds, commodity you, your spouse, or dependent child. SCHEDULE B Page tfumber 10 of 12 futures, and other securities when the Check the "certificate of divestiture" block amount of the transaction exceeded $1,000. to indicate sales made pursuant to a Include transactions that resulted in a loss. certificate of divestiture from OGE. Identificationof Assets Example I CentralAlrllnesCommon Not applicable 2 3 4 5 -This category applles only if the underlying asset is solely that of the fller's spouse or dependent children. If the underlying asset is either held by the filer or jointly held by the filer with the spouse or dependent children, use the other higher categories of value, as appropriate. Part II: Gifts, Reimbursements, and Travel Expenses For you, your spouseand dependent children, report the source,a brief'descrip­ theU.S. Government; givento your agencyin connection withofficialtravel; tion, and the valueof: (1) gifts (suchas tangibleitems, transportation.Jodging, received fromrelatives; receivedbyyour spouseor dependentchild totally food, or entertainment) receivedfromone source totalingmore than$35() and independent oftheir relationship to yOU; or provided as personal hospitality at (2) travel-related cash reimbursements received from one sourcetotalingmore the donor'sresidence. Also,for purposes of aggregating gifts to determine the than$35(). For conflicts analysis, it is helpfulto indicatea basis for receipt,such total valuefromone source, excludeitems worth $140or less. See instructions as personalfriend, agency approval under5 U.S.C.§ 4111 or otherstatutory for otherexclusions. authority, etc. For travel-related giftsand reimbursements. include travel itinerary, None 0 dates, and the natureof expensesprovided. Exclude anythinggivento you by Source (Name and Address) Nat'! Assn. of Rock Collectors,NY, NY CA - - - - Not applicable 2 3 4 5 Brief Descrtptlon Airline ticket, hotel room &: meals Incident to national conference 6115/99 (personal activity unrelated to duty) Leather briefcase (pen;onal friend) Value $500 $38S OOEFonn 278 (Rev. 1212011) 5 C.F.R. Part2634 U.S. Office ofGovermnent Ethics Reporting indiVIdual's Name Page Number Romney, W. Mitt SCHEDULE C 11 of 12 Part I: Liabilities a mortgage on your personal residence None C3I Report liabilities over $10,000 owed unless it is rented out; loans secured by to anyone creditor at any time automobiles, household furniture during the reporting period by you, or appliances; and liabnities owed. to your spouse, or dependent children. certain relatives listed in instructions. Cheel< the highest amount owed Seeinstructions for revolving charge during the reporting period. Excl ude accounts. I , I Date Interest Creditors (Name and Address) Rate Incurred Type of L1abllIty 1991 896 Examples Washington,IX2..- __ !:!ortga..!l!. _ 1999 1096 JohnJones,Washington, DC Promlssory note 1 , Please seeattachment page 3for Schedule C Part I 2 3 4 5 25 yrs. -- TermIf appUcable *This category applies only if the liability is solely that of the filer's spouse or dependent children. If the Iiablllty is that of the filer or a Joint liability of the filer with the spouse or dependent children, mark the other higher categories, as appropriate. Part II: Agreements or Arrangements Report your agreements or arrangements for: (1) continuing participation in an of absence; and (4) future employment. See instructions regarding the report- employee benefit plan (e.g, pension, 40lk, deferred compensation); (2) continua­ ing of negotiations for any of these arrangements or benefits. None 181 tion of payment by a former employer (including severance payments); (3) leaves PartIes Status and Terms of any Agreement or Arrangement Date 7/85 Doe Jones &: Smith, Hometown, State Example Pursuant to partnership agreement, wUI rel:elve lump sum payment of capital account &: partnership share calculated on service performed through 1100. 1 2 3 4 5 6 OGEForm218(Rev. 12120 II) 5 C.F.R. Part 2634 U.S. Office of Government Ethics Reporting Individual's Name Page Number Romney. W. Mitt SCHEDULE D . 12 of 12 Part I: Positions Held Outside U.S. Government Report any positions held during the applicable reporting period, whether compen­ organization or educational institution. Exclude positions with religious, sated or not. Positions include but are not limited to those of an officer, director, social, fraternal, or political entities and those solely of an honorary trustee, general partner, proprietor, representative, employee, or consultant of nature. None 0 any corporation, firm, partnership, or other business enterprise or any non-profit Organization (Name and Address) 1'voe of Organization Position Held From (Mo••Yr.) To (Mo.,Yr.) ___________ Non-profiteducation PIl!SIdent 6/92 Pnsent ,..,.------------­ ---------- ---­ 1---- DoeJones &:Smlth. Hometown, State Law firm Panner 7185 1/00 1 Irrevocable trust Trustestablished to holdextended famHy vacation Trustee property 12/1991 Present 2 Marriott International HotelCompany Director 01/2009 112011 3 4 5 6 Part II: Compensation in Excess of $5,000 Paid by One Source Do not complete this part if you are an Incumbent, Termination Filer, or Vice Report sources of more than $5,000 compensation received by you or your non-profit organization when Presidential or Presidential Candidate. business affiliation for services provided directly by you during anyone year of you directly provided the the reporting period. This includes the names of clients and customers of any services generating a fee or payment of more than $5,000. You None 0 corporation, firm, partnership, or other business enterprise, or any other need not report the U.S. Government as a source. Source (Name and Address) Brief Description of Duties Jones & Smith. Hometown. State Lega15e1Vlces ------------------------------­ Legal services in connection with university construction 1 Notapplicable 2 3 4 5 6 Attachment A Page 1 of 3 Yaluatlon l't"" AmoIInt § § ... § § & I g, "" §' g, . i ! 11\' 11 i § § !. i .... ll1. 8 , §. § r1 I I ... .... i .... ... .:. g "" , , a , .... 11\ :l', s 11\' . '" , i 8 v:. ... .:. ... "" , -ll 8 i5 .:. l ... .:. .... '" ... §' .:. .:. ... .... .... oll Ii ! '" 8 g 8 8 g, 8 l!! I §' s .n a .... 8 .... 0 0 i il ;i Z Q a v:. IX a .... ! :Ii ! :z: "" A1.LSECURtnES REPORltD ONTHIS PAGE WERE SOlD BY THORNBURG INVESTMENT MANAGEMENT-SEENOTE 1 ARM HOlDlNGSPl.CSPONAORCMN MID x x x eGGROUPPlCSPONAORAORCMN (SOLO) x x x x x BRlTlSH SKY BROADCASTING GROUP l'I.CAMER OEJ> SH ISOLOl x x CANADIAN NATIONAL RAILWAY co.CMN lSOID X x x x CANADIAN NATURAlRESOVRCESCMN-(SOID1 " x x x x CANONINCAORADRCMN SOLO x x x CARNIVAlCORPORAllON CMN SOLnl x x X x x COCA-COlA t1EllENlCeoTTLINGCO AORCMN ISOLOI x x OASSAUlTstsrEMESSASPONSOREDAORCMN ISOlDl " x DEUTSCllESANK AGCMN SOLO " x x x x EMBRAERSAAORCMN ISOlDl x x SOLO x x x x x x " FRESENlUSMED/CAlCAREAG&COllGAAAORCMN /SOLOI x HANG lUNGflIITYS l1'OSPONS01\EDADR CMN SOLO x x x x x x HENNES&MAVRI12AIIAORCMN ISOLOl x x HONG kONG EXCHANGES & Cl.£AIUNG AOR CMN SOLO) x x x x INfOSYS lTDSPONSOREDAOR eMN; ISOLO} x x x x x kODl CORP UNSPONSORED AOR CMN SOLoI x x x x KINGASHERPlC SPONSOREOAORCMN ISOlDl x x 1.1'0.1.011 LNOW! SPONSOREDGDS CMN (SOLO) x x x x I.Ul.Ul.EMONATHI£I"iC' INC. CMN ISOLO] x x x x x " x N£STLE SASPONSOREDAORMLO lVMH MOETHENNESSYlDUlSWlnON SA. AOR CMN ISOLO] x x x x NEWORIENTAlED&TECHGRPSI'ON AORCMN /SOlD] x x x x POTASH CORP OFSASKATQlEWAN INC SOLOI x x x RECkITTBENCKISERGROUPP1CSLOUGH AOR (Uk) ISOLO} x x X x SAaMlI.LERFI.C SPONSORED AOR tsrl\l) x x x X X x " SAP AGl<:PtW AOR} lSOLD} x SMITH &NEPHEWP1CAORCMN SOLO x x x x x x " x VOlXSWAGEN AG WOlfSBURG SPONSOREOAORISOLOl x SOUTHERN COPPERCORPORA11ONCMN SOLD x x x x " x WAI.-MARTDEMEXICO SABOECVSPONSOREOADR SOLO x • • x HONEl'WEUllm.lHCCMN ISOLDI x x CNOOCUMIl'EDSPONSOREDAORCMN ISOLDl x x NOVARTlS AG-ADR SPONSOREDADRCMN (SoLol x x x x x • " x x SOlLUMBERG£Ill1'OCMN ISOLOl • • x x TENCENTHOlDINGS UMITEDUNSPONSOREDAORa.lN (SOLOI x " Page 2 ot 3 Attachment A Valuation """ Amount ;:r 8. ~ ~ ~ £ i!! 0 z §. a .:. 8 .... '" § o' ::l. I § g , ~ . '" i ... ..:. ~ 8' ... ... I .:. ~ . III lil. I .... ... , ... i . § §' ;;f. ~ § §: III ... .:. ;. ;;f. § g lQ' ... .:. ;. Ill' ... i .:. 8 §' a i ~ ~ -6 s :ll ,2 c :0 " I oil ~ 'Il j l! lB E '15. a ;:r 0 lil. c ~ ~ 0 i!! 0 Z ~ ... & ~ ti ..:. 8 .... ~ . ... .:. a §. III ... 8 l& ~ . III 8 ~ f ... i .:. 8 ~ I .... ... ... ~ . ... . § ~ ! i: III .:. ~ . ;;f. §. ~ . ... ~ A1.LS£CURlnES REPORTEDONTHIS PAGE WERE SOLD BYGS l'RIVATE CUENT PORTFOlIO-SEE NOTE Z PROCTER& GAMBlE COMPANY /THE) CMN (SOLD) x x x x ARACINCORPORATEDCMN SOLO x K X x AMERICANEXPRESSCO.CMN (SOLDI x x x x AMERICANTOWl:RCORPORATION CMN ClASS A SOLOI x x x ....... " INC.CMN (SOLOI x x x BAXTER tNTERHATlONAllNCOIiIN SOLO x x X K BIOGEN Il>ECtNC. CMN /SOLD] x x x BOEING lXlMPANYCMN SOLD x x x x CISCO SYSTEMS INC.CMIII (SOLOI x x x COSTCOWHOlESALE CORPORAT10N CMN SOlD x x x !:MERSON ELECTRIC CO.OIiIN lSOlDI x x x x EJ(){ONMOBflCORPORATIl>NCMN /SOIDI x x x FREEPORT-MCMORAN COPPER & GOLDOIiIN tSOLDI x x x x Gl:NERAlMlLlS INC CMN lSOlDI x x x x GooGli: tN(:.CMNClASSA 150lDl x x x JOHNSON&JOHNSON OIiIN (SOlDl x x x x JPMORGAN CHASE &COCMN /SOlO x x x x MCOONALDSCORPCMN (SOIDI x x x x MICROSOFTCORPORATION OIiIN SOlD x x x x NlKE ClASS-B OIiIN ClASS8 lSOlO] x x x x OCCIOENTAlPETROLEUMCORP OIiIN SOLD x x x x ORAa.E CORPORAnON OIiIN (SOlD) x x x x PEPSlCOINCCMN (SOLDI x x x • PRAXAll1. tNCOIiINSERIES lSoc.Ol x x x x QUAlCOMM INC OIiIN SOlD x x x x SOUTHWESTERNENERGYCO.CMN lSOlDI x x x THE TRAVELERSCOMPANfES, INC CMN (SOlO) x x x x THERMOFlSIlERSOENTlflC1NCCMNtSOLDl x x x V1SA INC. CMN ClASSA &'lIDI x x x x Page 3 of 3 SChedule C, Part I Response Some investments in privateequityandsimilar fundsdisclosed onSChedule A(the "Funds") are madepursuant to agreements of limited partnership, subscription agreements and/or other similar documentationthat could becharacterized ascreatingliabilitiesfor capital calls or other payments to bemadeby investors. Such documentationistypicallydated on or about the date of organizationof the Fund or the dateof the investment, whichdatesvary. Thepayments generallydo not bearinterest, andaredueupondemandbythe Fund. In the case of Funds for whichthere isexpected to bea capitalcall for future investments, the following table liststhe Funds andthe maximumexpected future liability for such capital calls,wherethat liability isover $10.000: FundCategOry IA. lndTru

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